-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Mec841DoC2xiF+pey943QcHMw5/ygPs0olENgvoDAdyEXsDOs/J8oRN43xeiHyD/ L3WdZxinAMiigFtAWLmI7g== 0001130381-04-000011.txt : 20040213 0001130381-04-000011.hdr.sgml : 20040213 20040213154936 ACCESSION NUMBER: 0001130381-04-000011 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KEITH COMPANIES INC CENTRAL INDEX KEY: 0001080922 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-ENGINEERING SERVICES [8711] IRS NUMBER: 330203193 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-57875 FILM NUMBER: 04598883 BUSINESS ADDRESS: STREET 1: 19 TECHNOLOGY DRIVE CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 949-923-6000 MAIL ADDRESS: STREET 1: 19 TECHNOLOGY DRIVE CITY: IRVINE STATE: CA ZIP: 92618 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: E CAPITAL CORP CENTRAL INDEX KEY: 0001130381 IRS NUMBER: 953565499 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1000 WILSHIRE BLVD CITY: LOS ANGELES STATE: CA ZIP: 90017 BUSINESS PHONE: 2136888080 MAIL ADDRESS: STREET 1: 1000 WILSHIRE BLVD CITY: LOS ANGELES STATE: CA ZIP: 90017 SC 13G/A 1 tkci04.txt OMB APPROVAL OMB Number 3235-0145 Expires: December 31, 2005 Estimated average burden Hours per response....11 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE13G Under the Securities Exchange Act of 1934 (Amendment No__3__)* THE KEITH COMPANIES, INC. - --------------------------------------------------------------------- (Name of Issuer) Common - --------------------------------------------------------------------- (Title of Class of Securities) 487539108 ----------------- (CUSIP Number) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: /x/ Rule 13d-1(b) /x/ Rule 13d-1(c) / / Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. SEC 1745 (3-98) Page 1 of 9 CUSIP No. 487539108 - -------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only) E*Capital Corporation - --------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) /x/ (b) / / - --------------------------------------------------------------------- 3. SEC Use Only - --------------------------------------------------------------------- 4. Citizenship or Place of Organization California - --------------------------------------------------------------------- Number of Shares 5. Sole Voting Power 384,100 Beneficially by ---------------------------------------------- Owned by Each 6. Shared Voting Power 597,731 Reporting ---------------------------------------------- Person With: 7. Sole Dispositive Power 384,100 ---------------------------------------------- 8.Shared Dispositive Power 617,601 - --------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 617,601 - --------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) /x/ - --------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 8.1% - --------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) - --------------------------------------------------------------------- CO Page 2 of 9 CUSIP No. 487539108 - -------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only) Edward W. Wedbush - --------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) /x/ (b) / / - --------------------------------------------------------------------- 3. SEC Use Only - --------------------------------------------------------------------- 4. Citizenship or Place of Organization United States of America - --------------------------------------------------------------------- Number of Shares 5. Sole Voting Power 172,100 Beneficially by ---------------------------------------------- Owned by Each 6. Shared Voting Power 597,731 Reporting ---------------------------------------------- Person With: 7. Sole Dispositive Power 172,100 ---------------------------------------------- 8.Shared Dispositive Power 617,601 - --------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 617,601 - --------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) /x/ - --------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 8.1% - --------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) - --------------------------------------------------------------------- IN Page 3 of 9 CUSIP No. 487539108 - -------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only) Wedbush Morgan Securities, Inc. - --------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) /x/ (b) / / - --------------------------------------------------------------------- 3. SEC Use Only - --------------------------------------------------------------------- 6. Citizenship or Place of Organization California - --------------------------------------------------------------------- Number of Shares 5. Sole Voting Power 41,531 Beneficially by ---------------------------------------------- Owned by Each 6. Shared Voting Power 597,731 Reporting ---------------------------------------------- Person With: 7. Sole Dispositive Power 41,531 ---------------------------------------------- 8.Shared Dispositive Power 617,601 - --------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 617,601 - --------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) /x/ - --------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 8.1% - --------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) - --------------------------------------------------------------------- BD Page 4 of 9 Cusip No. 487539108 13G THE KEITH COMPANIES INC. - --------------------------------------------------------------------- Item 1. Name and Address of Issuer. (a) This statement relates to the shares of the common stock of THE KEITH COMPANIES, INC. ("Issuer"). (b) Issuer's address: 2955 Red Hill Avenue, Costa Mesa, California 92626 Item 2. Filers (a) This statement is filed by E*Capital Corporation ("ECC"), Edward W. Wedbush ("EWW") and Wedbush Morgan Securities, Inc. ("WMS"). (b) Business address of the above filers are as follows: ECC - 1000 Wilshire Blvd., Los Angeles, CA 90017-2457 EWW - P.O. Box 30014, Los Angeles, CA 90030-0014 WMS - P.O. Box 30014, Los Angeles, CA 90030-0014 (c) ECC is a California corporation. EWW is a citizen of the United States of America. WMS is a California corporation. (d) Common stock (e) 487539108 Item 3. Classification of Filers (a) WMS is a broker/dealer (b) - (j) Not applicable (g) ECC is a control person Page 5 of 9 Item 4. Ownership (a) ECC has sole ownership of 384,100 Shares of the Issuer; EWW has sole ownership of 172,100 Shares; and WMS has sole ownership of 41,531 Shares. (b) Of the Shares outstanding, ECC owns approximately 5.03%; EWW owns approximately 2.25%; and WMS owns approximately 0.54%. (c) Number of Shares as to which the filer has: (i) Sole power to vote: ECC has sole power to vote on 384,100 Shares; EWW has 172,100 sole Shares; and WMS has 41,531 sole Shares. (ii) Shared power to vote: ECC has 597,731 Shares; EWW has 597,731 Shares; and WMS has 597,731 Shares. (iii) Sole power to dispose: ECC has sole power to dispose on 384,100 Shares; EWW has 172,100 Shares to dispose; and WMS has 41,531 Shares to dispose. (iv) Shared power to dispose; ECC has 617,601 Shares; EWW has 617,601 Shares; WMS has 617,601 Shares. Item 5. Ownership of Five Percent or Less of a Class. Not applicable. Item 6. Ownership of More Than Five Percent on Behalf of Another. Not applicable. Item 7. Identification and Classification of Subsidiary which Acquired the Securities Being Reported on by the Parent Holding Company. Not Applicable. Page 6 of 9 Item 8. Identification and Classification of Members of a Group. Name Category No.ofShares Percentage E*Capital Corporation CO 384,100 5.03% Edward W. Wedbush IN 172,100 2.25% Wedbush Morgan Securities, Inc. BD 41,531 0.54% EWW is the chairman of ECC. EWW owns a majority of the outstanding Shares of ECC. EWW is the President and Chief Executive Officer of WMS. ECC owns a majority of the shares of WMS. Accordingly, EWW may be deemed the beneficial owner of the Issuer's Shares owned by ECC. However, beneficial ownership of the Issuer's Shares is hereby disclaimed by EWW. Item 9. Notice of Dissolution of Group. Not applicable. Page 7 of 9 Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the Issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. Signature After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. E*Capital Corporation 2/05/04 - --------------------------- Date ERIC D. WEDBUSH - ------------------ Eric D. Wedbush - --------------------------- Signature ERIC D. WEDBUSH - ------------------ Eric D. Wedbush/ President - --------------------------- Name/Title Edward W. Wedbush 2/05/04 - --------------------------- Date EDWARD W. WEDBUSH - ------------------ Edward W. Wedbush - --------------------------- Signature EDWARD W. WEDBUSH - ------------------ Edward W. Wedbush - --------------------------- Name/Title Page 8 of 9 Wedbush Morgan Securities, Inc. 2/05/04 - --------------------------- Date EDWARD W. WEDBUSH - ------------------ Edward W. Wedbush - --------------------------- Signature Edward W. Wedbush/ President and Chief Executive Officer - --------------------------- Name/Title Page 9 of 9 -----END PRIVACY-ENHANCED MESSAGE-----